Denise Yuk Yin Tam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Denise Yuk Yin Tam (譚玉燕), a licensed Representative with CE reference AQW022. Currently licensed at 3 firm(s): Guotai Junan FX Limited, Guotai Junan Securities (Hong Kong) Limited, Guotai Junan Futures (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 3 - Leveraged foreign exchange trading; Type 4 - Advising on securities; Type 5 - Advising on futures contracts. This person has 18.1 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan FX Limited 國泰君安外匯有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2020-06-15 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2019-03-05 | present |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2019-03-05 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2019-02-15 | present |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2019-02-15 | present |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2017-06-22 | 2019-01-25 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-06-22 | 2019-01-25 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2011-09-23 | 2015-02-05 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-08-31 | 2017-04-03 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2008-04-15 | 2017-04-03 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2008-04-15 | 2017-04-03 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Denise Yuk Yin Tam during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.